Customer Disclosure Statement
CJK Securities, Inc.
CJK Securities, Inc. plans to quickly recover and resume
business operations after a significant business disruption (SBD)
and respond by safeguarding our employees and property, making a
financial and operational assessment, protecting the firm’s
books and records, and allowing our customers to transact
business. In short, our company’s business continuity plan (BCP)
is designed to permit us to resume operations as quickly as
possible, given the scope and severity of the SBD.
The BCP addresses: data backup and recovery; all mission
critical systems; financial and operational assessments;
alternative communications with customers, employees, and
regulators; alternate physical location of employees; critical
supplier, contractor, bank and counter-party impact; regulatory
reporting; and assuring our customers prompt access to their
funds and securities if we are unable to continue our business.
The product sponsor or issuer
maintains all records related to your investments and account
holdings and backs up important records in accordance with their
business continuity plan. For more information on their
contingency plan, please contact the sponsor or issuer directly
at the telephone number provided on your statements or offering
documents or through their website.
Significant Business
Disruptions: The Company’s plan takes into account two kinds
Significant Business Disruptions, internal and external.
Internal SBDs affect only the Company’s ability to communicate
and do business, such as a fire or loss electrical power in the
office or building.
External SBDs prevent the
operation of the securities markets or a number of firms, such
as a terrorist attack, a natural disaster, or another event that
causes a wide-scale, regional disruption in essential services.
Internal SBDs: In the
event of a disruption in the Company’s business operations due
an internal SBD, the Company will attempt to continue to conduct
business as usual by utilizing alternative communication methods
(if available), such as the Internet, cell phones, etc., or by
moving its operations to an alternative location.
If personnel or operations
must be moved to an alternate location, the Company anticipates
that it will resume regular operations with 24 – 48 hours.
External SBDs: In the
event of a disruption in the Company’s business operations due
to an external SBD, the Company will attempt to continue to
conduct business as usual by moving its operations to an
alternative location outside the affected area, if possible, or
by providing customers with alternative communication
arrangements, as indicated below, to conduct business or to
access their funds and securities.
The Company will attempt to
resume business within 24-48 hours and to keep its customers
informed regarding relevant events to the best of its ability
based on the circumstances.
In all cases, the Company will
resume normal business operations as soon as it is able to do
so, based on the type and the extent of the disrupting event.
If the significant business
disruption is so severe that it prevents us from remaining in
business, we will assure our customer’s prompt access to their
funds and securities.
Communications: In the
event you are unable to reach the Company at our main number,
please proceed as follows:
1.
Contact the Company at the following alternate telephone
number: (702) 493-6911.
2.
Access the Company’s website at www.cjksecurities.com.
3.
Contact the private placement issuer directly at the
number listed on applicable offering documents, or
alternatively, access the issuer’s website for more information
on contacting this entity and their business continuity plans.
The website address can generally be found on your statement or
offering documents.
4.
Contact the NASD’s District office at the following
telephone number for more information on the company’s status
and additional instructions:
Contact information:
Any questions regarding the Company’s Business Continuity Plans
should be addressed to: Robert J. Jirovec, President, 2780 S.
Jones Blvd., Suite 130, Las Vegas, NV 89146 or call
702-220-3170.
